jinchuan.p65 174 College & Research Libraries March 1999 Fund Allocations for Information Resources in China’s Key Universities Jin-Chuan Ma Translated by Sha Li Zhang Libraries in China’s key universities will be the bases for collecting and managing information resources that serve their own user communities and will be an integral part of information resources for the China Aca­ demic Library and Information System as well. Allocating adequate ma­ terials funds from the university operational budget is essential if these libraries are to adequately support their learning and research commu­ nities. This article examines the current situation these libraries are fac­ ing and makes proposals for changes. hina has one hundred and seven key universities. The functions and characteristics of these universities are in one way or another similar to those of re­ search universities in the Western world. They are centers in producing high-qual­ ity scientists and researchers for the coun­ try. Currently, sixty-one key universities have been selected to participate in Project 211, an initiative funded by the State De­ velopment & Planning Commission of China to improve the quality of educa­ tion, research, management, and institu­ tional efficiency.1 These key universities will play important roles in catching up with their counterparts in the world in the beginning of the next century. One of the goals of Project 211 is to establish a modernized academic library and infor­ mation system through the China Aca­ demic Library and Information System (CALIS), a subset of Project 211. In that capacity, CALIS has responsibility for developing three-tiered information re­ sources’ networks for academic libraries at the national, regional, and campus lev­ els. Libraries in these key universities will be the bases for collecting and managing information resources that serve their own user communities and will serve as an integral part of information resources for CALIS as well. Therefore, it becomes very important to allocate sufficient funds for information resources in these univer­ sities. Familiar Scenario 1: Continuing Decline of Library Resources Since the mid-1980s, with continuing in­ creases in materials pricing, library col­ lections in China’s key universities have declined dramatically. First, many librar­ ies have substantially reduced the num­ ber of copies of instructional monographs in the Chinese language. Before the early 1980s, these libraries had the luxury of keeping more than ten copies of the same Jin-Chuan Ma is a Deputy Director of Nanjing University Library in Jiangsu Province, People’s Republic of China; e-mail: majinchuan@nju.ecu.cn. Sha Li Zhang is Head of Technical Services at Wichita State University; e-mail: zhang@twsuvm.us.twsu.edu. The original version of this paper appeared in the Jour­ nal of Academic Libraries 16, no.2 (1998): 26–28. 174 mailto:zhang@twsuvm.us.twsu.edu mailto:majinchuan@nju.ecu.cn Fund Allocation for Information Resources 175 title. However, at present, libraries can afford to keep only one or two copies of such types of materials.2 Second, due to continuing price increases of foreign ma­ terials (in languages other than Chinese), these types of materials have become major candidates for cancellation among the reduced collections, even though they are very important to graduate programs and research projects. Third, among these university libraries, foreign journal sub­ scriptions have experienced several ma­ jor cancellations in past years. At present, the total number of foreign journals is one third of what it was in the mid-1980s. The situation of foreign monographic collec­ tions has become even worse. The total number of foreign monographic titles purchased now is one tenth of what is was in the mid-1980s.3 With rapid developments in science and technologies, the number of publica­ tions in these fields also has increased at a fast rate. A statistical report provided by the China Books Import and Export Company indicates that the rate of new journal titles in science and technology is two percent annually.4 In the past ten years, the number of journal articles cited by Science Citation Index increased 13 percent and the number of those reported by the Index to Scientific and Technical Proceedings increased 66 percent. New journals are very important sources for the latest development in science and technology, but China’s key university libraries cannot afford to subscribe to them. The lack of adequate funds has widened the gap between the increased number of publications in science and technology and the libraries’ collections in these two fields. For a long time, information resources funds at these key university libraries came from the respective institution’s operational budget, about five percent annually. This percentage has not in­ creased for a long time. With continued soaring prices of foreign materials and the absence of additional or new funds from the university, library resources will con­ tinue to decline. Familiar Scenario 2: Declining Collections of Foreign Materials Foreign materials are indispensable in keeping the university community in­ formed about the latest scientific and tech­ nological developments in the world. Key universities are putting more emphasis on scientific research through their academic disciplines. Without adequate access to foreign materials in science and technol­ ogy, it is impossible to conduct high-qual­ ity research. Since the late 1970s, the number of publications by faculty and graduate stu­ dents in these key universities has con­ tinued to increase. Most of these publica­ tions have appeared in major scholarly journals at national and international lev­ els. One of the contributing factors to this endeavor was the government’s financial support in acquiring foreign materials for these university libraries. Each year, the Beijing-based China Research Institute of Science and Technology Information pro­ vides the number of articles published in science and technology journals by fac­ ulty and graduates in key universities. The institute ranks each key university accordingly; it indicates that the top rank­ ing universities often have rich informa­ tion resources in their libraries. A similar correlation exists between research out­ comes and library resources in major re­ search universities throughout the world.5 In terms of research outcomes, there is still a gap between key universities in China and their counterparts in the rest of the world. In 1995, the total number of research publications cited by Science Citation Index, Index to Scientific and Technical Proceedings, and Engineering Index from Taiwan University was equal to the total of those by researchers from the top three universities in China. This phenomenon may not mean that these researchers were less capable, but it may indicate that researchers in these univer­ sities had less access to information re­ sources than their counterparts in Taiwan University did. A rich library collection is an important component of the research 176 College & Research Libraries March 1999 process. Many scholars in China’s key universities have had significant accom­ plishments in research projects when they visited research universities abroad where they had access to the latest infor­ mation resources and facilities in science and technology. In the scholarly commu­ nication process, scientists tend to report and communicate their discoveries/find­ ings through science journals. In the United States, some major research uni­ versity libraries subscribe to more than 10,000 journals.6 Taiwan University Li­ braries subscribe to more than 20,000 jour­ nals.7 Hong Kong Science and Technol­ ogy University also subscribes to more than 10,000 journals.8 In 1995, seventy-one major universities in China subscribed to only 6,000 foreign journals and newspa­ pers. Due to the lack of consistent and continuing coverage of foreign journals, researchers in these universities have dif­ ficulty thoroughly reviewing literature, keeping track of new developments and trends in a timely manner, engaging in new research projects, and verifying and evaluating research undertakings. Some­ times this results in duplicate research projects. Moreover, without adequate re­ sources such as foreign journals, it is im­ possible to update the curriculum in these universities. Obviously, the decline of for­ eign journal subscriptions has had a severe impact on the graduate programs and re­ search activities in China’s key universities. Problematic Perceptions For a long time, the percentage of library materials funds has been about five per­ cent of the university’s operational bud­ get. This allocation is based on the Library Provisions for Institutions of Higher Learn­ ing issued by the State Educational Com­ mission.9 The total amount of the opera­ tional budget to each university provided by the commission is based on the num­ ber of enrolled undergraduate and gradu­ ate students. In theory, because under­ graduate students consist of a large part of the student body, the university’s op­ erational budget should be used mainly to support instructional programs and resources. However, in many key univer­ sities, the library spends over 70 percent of its materials funds on expensive re­ search journals. Thus, less than 30 percent of the funds are used to purchase instruc­ tional materials. Students have expressed dissatisfaction about the situation.10 In 1995, seventy-one major universi­ ties in China subscribed to only 6,000 foreign journals and newspa­ pers. In recent years, many key universities have been able to obtain a large amount of research funds from various grants in addition to their normal operational bud­ get. In some cases, the research funds are almost equivalent to their operational budget. It is understood that the research funds should include a portion the library can use to purchase or subscribe to mate­ rials to directly support research projects. In practice, thousands of dollars have been spent on purchasing equipment, but not a single penny was allocated for li­ brary resources. Libraries have requested a small amount of the research grants in the past, but without success. Research­ ers are used to relying on library resources without thinking about funding for them. In some key universities, the materi­ als purchased by the funds from research grants were often kept in departmental libraries administered by each individual department or school. In a few cases, these materials were even being kept in researchers’ offices. This practice not only causes duplicate acquisitions and sub­ scriptions within the institution, but also prevents users from other departments or schools from using these materials. Such a practice is still in existence and is not being addressed adequately. Proposals for Changes For the library to respond favorably to the teaching and research needs of its user community, the aforementioned situa­ tions need to be changed. The following proposals should serve as a framework when changes are being made: http:situation.10 Fund Allocation for Information Resources 177 1. Establish a Deducting-percentage System With limited resources, many research universities in the world have established a system that allows the library to have a certain percentage of research funds for acquiring research-oriented materials.11 This practice has merit in terms of China’s situation. According to a data provided by the China Research Institute of Science and Technology Information, in 1995, re­ searchers in China’s universities contrib­ uted 17,921 journal articles through funded projects.12 This was 75 percent of the total number of journal articles pub­ lished that year. There is a connection between the quality and quantity of re­ search outcomes and the level of library resources. Therefore, it is reasonable for the library to request a certain percent­ age of research funds for acquiring infor­ mation resources within the university. These materials directly support research projects. An additional five percent should be allocated from the tuition in­ come for library resources. 2. Enhance Integrated Resources Develop- ment When it is time for academic libraries to move toward integral resources develop­ ment at regional and national levels, there will be an urgent need to improve the management of materials funds and re­ sources within each key university. Historically, there have been two types of libraries within a university in China: university libraries and departmental li­ braries. Currently, there are more than 5,000 departmental libraries; a large of number of them are in key universities. These departmental libraries are funded and administered by individual depart­ ments or schools. Acquisitions and cata­ logs are maintained at the department level. Such an arrangement has its own merit: small, but specialized, collections housed together provide physically con­ venient access and flexible checkout pro­ cedures. The department owns these materials. Faculty and graduate students in the department like the system, but because there is no online catalog, it is im­ possible for users in other departments to share the materials. In some cases, due to inadequate checkout procedures, some faculty checked out materials and kept them in their office forever. Some univer­ sity libraries attempted to improve or change the situation but were met with resistance from faculty and department heads. Also, the university administration did not provide support for the integra­ tion of resources. With the development of modern in­ formation technologies, it is easier than before to engage in cooperative acquisi­ tions, develop online catalogs, and share information resources. In such an envi­ ronment, it would be more effective to have the university library oversee mate­ rials funds, human resources, and collec­ tions within a university. The departmen­ tal library would become a branch library based on subject disciplines. Last year, when Ms. Rita Scherrel, an associate uni­ versity librarian at the University of Cali­ fornia at Los Angeles visited the Nanjing University Library, she shared her expe­ rience in implementing this management model. In China, the university adminis­ tration is the key to promoting and imple­ menting this model. 3. Revise the Existing Provisions In 1987, the State Educational Commis­ sion issued “Library Provisions for Insti­ tutions of Higher Learning.” According to these provisions, the university admin­ istration should allocate five percent of its annual operational budget to the li­ brary for acquiring information resources. Since then, the provisions have enabled the library to acquire adequate funds from the university administration. Further­ more, the provisions encourage the uni­ versity administration to allocate addi­ tional funds from various research grants and other incomes to the library for in­ formation resources. These funds also should be administered by the library. However, this part of the provisions has never been realized and practiced in key http:projects.12 http:materials.11 178 College & Research Libraries March 1999 universities. In the past decade, there have been rapid changes in information technology, higher education, university budgets, and materials pricing. Therefore, it is neces­ sary to revise the provisions accordingly so that they provide guidelines for col­ lecting adequate library collections. Uni­ versities granting graduate degrees have obtained more research funds, doctoral program grants, and other incomes in addition to their normal operational bud­ get. These funds consist of a large por­ tion of the university’s total budget. At the same time, graduate students and re­ searchers in key universities want more library materials than those in other uni­ versities. Libraries in these key universi­ ties have voiced their demands for more materials funds from the university ad­ ministration. Nanjing University admin­ istration has twice decided to allocate an additional three to five percent of funds from research funds to the library. How­ ever, these decisions have never been put into practice, primarily because of the lack of government provisions. Therefore, it is necessary to revise the current provi­ sions, which will allow the university to allocate sufficient funds from various in­ comes to the library. In this way, the li­ brary will be able to serve its commu­ nity with consistent and continuing re­ sources. Conclusion Library resources that are used to support teaching and research in key universities must be provided on a regular basis. The funds for acquiring such resources must be regulated and protected by govern­ ment provisions. These provisions should be authoritative, regulative, and enforce­ able. Moreover, an effective system should be established to regularly update the provisions. Notes 1. Qiang Zhu, “Increasing the Pace of an Integral Library System in China: Moving toward the Twenty-First Century,” College & Research Libraries 59 (Mar. 1998): 169–76. 2. Xiao-Ming Li, “Major Concerns on Library Resources Development in Academic Librar­ ies,” China Education Newspaper, Aug. 19, 1993, section 2. � 3. Academic Libraries Resources Development Project Group, “ Research and Recommen­ dations on Establishing the China Academic Library and Information System (CALIS),” in Re­ search on Humanities and Social Sciences (Beijing, P.R. China: State Educational Commission, 1995), 10. 4. Ji-Yuan Ye, Introduction to Core Journals (Nanjing, P.R. China: Nanjing Univ. Pr., 1995), 15. 5. Yu Hou and Xiao-Yuan Hu, “Canadian Universities Evaluate Libraries in China,” Journal of Academic Libraries 15, no. 2 (1997): 72–74. 6. Project 211 Information Resources Sharing System Development (draft) (Beijing, P.R. China: Peking University, 1996), appendix. 7. Wei-Ping Yang, Han-Yun Shi, and Yi Li, eds., Colleges and Universities in Taiwan (Hong Kong: Han-Rong Publishing, 1993), 9. 8. Introduction to Hong Kong Science and Technology University (Hong Kong: Hong Kong Sci­ ence and Technology University, 1995), 18. 9. Library Provisions for Institutions of Higher Learning (Beijing, P.R. China: State Educational Commission, 1987). 10. Feasibility Studies on the China Academic Library and Information System (Beijing, P.R. China: Peking University, 1996), 4. 11. K. A. Brandt, Jerry J. Campbell, and W. F. Fryant, “Reflection on Reference Services,” Journal of American Society for Information Science 47, no. 3 (1996): 210–16. 12. 1995 Annual Report on Statistics and Analysis of China’s Science and Technology Publications (Beijing, P.R. China: China Research Institute of Science and Technology Information, 1996), 141.